NYSE Arca ‘Threshold’ Securities for March 12
By Michael J. Munoz -
2012-03-13T01:29:04Z
The following is a list of “threshold securities” from the New York Stock Exchange Arca, published daily in compliance with the U.S. Securities and Exchange Commission’s Regulation SHO.
The list consists of stocks for which sellers failed to deliver 10,000 shares or more in the past five trading days and the level of “fails” is a minimum of 0.5 percent of the shares outstanding. Securities are listed alphabetically by ticker.
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Consecutive
Ticker Security Name Days on List
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AGF PowerShares DB Agriculture Long ETN 14
BABS SPDR Nuveen Barclays Capital Build America Bond 18
BGZ Direxion Daily Large Cap Bear 3X Shares 63
BOIL ProShares Ultra DJ-UBS Natural Gas ETF 17
BRAQ Global X Brazil Consumer ETF 6
BSCH Guggenheim BulletShares 2017 Corporate Bond ETF 8
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Consecutive
Ticker Security Name Days on List
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BSJF Guggenheim BulletShares 2015 High Yield Corporat 35
COWS Direxion Daily Agribusiness Bear 3X Shares 23
DEF Guggenheim Defensive Equity ETF 5
DIG ProShares Ultra Oil & Gas 7
DSLV VelocityShares 3x Inverse Silver ETN linked to S 11
DUST Direxion Daily Gold Miners Bear 3x Shares 8
EDZ Direxion Daily Emerging Markets Bear 3X Shares 243
EEV ProShares UltraShort MSCI Emerging Markets 5
EIS iShares MSCI Israel Capped Index Fund 2
EQL ALPS Equal Sector Weight ETF 2
EWO iShares MSCI Austria Investable Market Index Fun 10
EWZS iShares MSCI Brazil Small Cap Index Fund 1
EZM WisdomTree MidCap Earnings Fund 4
FAD First Trust MultiCap Growth AlphaDEX Fund 9
FAS Direxion Daily Financial Bull 3X Shares 76
FAZ Direxion Daily Financial Bear 3X Shares 255
FEG Focus Morningstar Energy Index ETF 5
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Consecutive
Ticker Security Name Days on List
=====================================================================
FXR First Trust Industrials/Producer Durables AlphaD 13
GAZ iPath Dow Jones-UBS Natural Gas Subindex Total R 17
GUR SPDR S&P Emerging Europe ETF 12
ICN WisdomTree Dreyfus Indian Rupee Fund 1
IGN iShares S&P North American Technology-Multimedia 3
IST SPDR S&P International Telecommunications Sector 1
IYT iShares Dow Jones Transportation Average Index F 18
JKE iShares Morningstar Large Growth Index Fund 11
MVV ProShares Ultra MidCap400 21
NORW Global X Norway Norway ETF 3
PEK Market Vectors China ETF 4
PIZ PowerShares DWA Developed Markets Technical Lead 5
PMR PowerShares Dynamic Retail Portfolio 1
PSQ ProShares Short QQQ 10
PWZ PowerShares Insured California Municipal Bond Po 2
PXF PowerShares FTSE RAFI Developed Markets ex-U.S. 7
PYZ PowerShares Dynamic Basic Materials Sector Portf 2
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Consecutive
Ticker Security Name Days on List
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PZT PowerShares Insured New York Municipal Bond Port 2
QLD ProShares Ultra QQQ 3
RBL SPDR S&P Russia ETF 2
RETS Direxion Daily Retail Bear 3X Shares 1
RJN ELEMENTS Linked to the Rogers International Comm 6
RWM ProShares Short Russell2000 2
SCO ProShares UltraShort DJ-UBS Crude Oil 11
SPHB PowerShares S&P 500 High Beta Port ETF 20
SPXU ProShares UltraPro Short S&P 500 36
SRTY ProShares UltraPro Short Russell2000 11
SSO ProShares Ultra S&P500 2
SVXY ProShares Short VIX Short-Term Futures ETF 17
TMF Direxion Daily 20 Year Plus Treasury Bull 3x Sha 21
TMV Direxion Daily 20 Year Plus Treasury Bear 3x Sha 21
TNA Direxion Daily Small Cap Bull 3X Shares 236
TVIZ VelocityShares Daily 2x VIX Medium Term ETN 7
TWM ProShares UltraShort Russell2000 8
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Consecutive
Ticker Security Name Days on List
=====================================================================
TWTI RBS Oil Trendpilot ETN 6
TYH Direxion Daily Technology Bull 3X Shares 5
TYP Direxion Daily Technology Bear 3X Shares 39
TZA Direxion Daily Small Cap Bear 3X Shares 219
UCO ProShares Ultra DJ-UBS Crude Oil 41
UGA United States Gasoline Fund LP 11
UGLD VelocityShares 3x Long Gold ETN linked to the S& 43
USLV VelocityShares 3x Long Silver ETN linked to the 7
USMV iShares MSCI USA Minimum Volatility Index Fund 3
VIIX VelocityShares VIX Short Term ETN 9
VROM Global X Auto ETF 6
XLB Materials Select Sector SPDR Fund 2
XLI Industrial Select Sector SPDR Fund 4
XLY Consumer Discretionary Select Sector SPDR Fund 2
XRT SPDR S&P Retail ETF 43
ZSL ProShares UltraShort Silver 133
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NOTE: For more information on threshold securities, see:
http://www.sec.gov/spotlight/keyregshoissues.htm
SOURCE: New York Stock Exchange
To contact the reporter on this story: Michael J. Munoz in Hong Kong at mjmunoz@bloomberg.net
To contact the editor responsible for this story: Alex Tanzi at atanzi@bloomberg.net
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